Re: Prescribing Factors in Considering the Seriousness of Behavior as Prohibited Characteristics of Persons who are or will be Major Shareholders of the Securities Companies.
approval: - the severity of the offence, - the impact on the capital market, - the evidence that may be used for establishing the guilt, and - the worthiness of imposing such penalties. Civil Sanction is
director or executive of juristic person listed on the Securities Exchange or traded in any over-the-counter center who contravenes Section 307 308 309 310.) Q: What level of suspicion and severity of
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